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SECURITIES AND FUTURES COMMISSION

AUDIT QUESTIONNAIRE

Name of Licensed Corporation:(The Licensed Corporation)

Financial year ended:

We hereby confirm that the information provided herein is accurate to the best of our

knowledge and belief.

Auditors signature:

Name of auditors and address:

Date:

Audit Questionnaire (Oct 2010)

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Yes No N/A

1. (a) Which areas of system of internal controls of the LicensedCorporation have you relied on when conducting your audit?

Handling of client accounts Dealing practices Asset protection

Risk management

Information management Others (supplydetails)

(b) Have you issued any management letter for internal controlweakness(es) in relation to the current audit period?

If yes, please include a copy of the management letter.

(c) Is any point raised in previous management letter(s) still

unresolved?

If yes, please provide details.

2. (a) Are you aware of any modification, waiver or approval underany rules made under the Securities and Futures Ordinancevalid as at the period end date?

(b) If yes in 2(a), are you aware of any instance where thecondition(s) (if any) imposed by the Commission for any suchmodification, waiver or approval has not been met by theLicensed Corporation?

3. Are you satisfied that no material inconsistency between theaudited accounts and the additional disclosure of financialinformation as required by the Account Disclosure Documentcame to your attention?

If not, please give details.

4. Have you identified any material revisions, discrepancies orreclassifications of the balances in the year-end liquid capitalcomputation between the audited financial return and thefinancial return for the relevant period first submitted by theLicensed Corporation to the Commission?

If yes, please give details.

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